Sec Form 4 Filing - Lanman Richard B. @ Guardant Health, Inc. - 2019-11-01

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Lanman Richard B.
2. Issuer Name and Ticker or Trading Symbol
Guardant Health, Inc. [ GH]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Medical Officer
(Last) (First) (Middle)
505 PENOBSCOT DRIVE
3. Date of Earliest Transaction (MM/DD/YY)
11/01/2019
(Street)
REDWOOD CITY, CA94063
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
COMMON STOCK 11/01/2019 M 2,305 A $ 4.18 84,320 D
COMMON STOCK 11/01/2019 M 3,459 A $ 8.8 87,779 D
COMMON STOCK 11/01/2019 S 5,764 ( 1 ) D $ 69.96 ( 2 ) 82,015 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
STOCK OPTION (RIGHT TO BUY) $ 4.18 11/01/2019 M 2,305 ( 3 ) 05/30/2027 COMMON STOCK 2,305 $ 0 13,066 D
STOCK OPTION (RIGHT TO BUY) $ 8.8 11/01/2019 M 3,459 ( 4 ) 08/21/2028 COMMON STOCK 3,459 $ 0 39,196 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Lanman Richard B.
505 PENOBSCOT DRIVE
REDWOOD CITY, CA94063
Chief Medical Officer
Signatures
/s/ Michael Wiley, as Attorney-in-Fact for Richard Lanman 11/05/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The shares sold were acquired contemporaneously upon the cashless exercise of one or more stock options at an exercise price of $4.18 or $8.80 per share.
( 2 )The price reported in Column 4 is a weighted average price. The transaction was executed in multiple trades ranging from $69.62 to $70.34. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
( 3 )The stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on April 1, 2017.
( 4 )The stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on August 22, 2018.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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